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Last updated 1 day ago

SEC Charges Two Companies and Their Principals with Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings

1 day ago

The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth...

SEC Awards Approximately $36 Million to Whistleblower

1 day ago

The Securities and Exchange Commission today announced an award of approximately $36...

SEC Charges World's Largest Advertising Group with FCPA Violations

1 day ago

The Securities and Exchange Commission today announced that London-based WPP plc, the...

SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee

2 days ago

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SEC Charges Principals of Subprime Automobile Finance Company with Fraud

2 days ago

The Securities and Exchange Commission today announced fraud charges against two former...

SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors

2 days ago

The Securities and Exchange Commission today charged a Texas- and Colorado-based municipal...

SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme

2 days ago

The Securities and Exchange Commission today filed two complaints in the United...

SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme

3 days ago

The Securities and Exchange Commission today announced charges against Sergei Polevikov, who...

SEC Charges Puerto Rican Company and Managing Members with Fraud

5 days ago

The Securities and Exchange Commission today announced charges against Puerto Rico-based Back...

Changing Dynamics Pre-IPO and Going Public on the Agenda for the SEC’s Small Business Capital Formation Advisory Committee

5 days ago

The Securities and Exchange Commission's Small Business Capital Formation Advisory Committee will...

SEC Charges Crowdfunding Portal, Issuer, and Related Individuals for Fraudulent Offerings

5 days ago

The Securities and Exchange Commission today charged three individuals and one issuer...

SEC, MSRB, FINRA to Hold Compliance Outreach Program for Municipal Advisors

6 days ago

The Securities and Exchange Commission's Division of Examinations and Office of Municipal...